How to Manage Personal Account Dealing in an Era of Stricter FCA Oversight
Regulators around the world are keen to prevent market abuse from creating distrust in the financial system. This endeavour has led to various pieces...
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5 Trade Surveillance Challenges (And How To Prepare)
With such a large volume of transactions flowing through the European markets, trade surveillance is essential. For the sake of fairness, stakeholder...
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MiFID II Dealing On Own Account: A Summary Of The Key Points
When MiFID II entered into force across the European Union on 3 January 2018, it showed intent from lawmakers in the union to instil trust in the...
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7 Best Practices to Manage and Mitigate Pre-Trade Risk
Pre-trade risk can result from human error when inputting incorrect figures in buy or sell orders. Whether it is related to the volume, value or size...
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5 Features Your Pre-trade Clearance System Should Have
Having a robust pre-trade clearance system is essential for investment firms with regard to compliance with the Market Abuse Regulation (MAR) and...
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[Step-By-Step] How To Create A Solid Employee Trading Policy
An employee trading policy, also referred to as a Code of Ethics or Code of Conduct, is designed to prevent financial workers from using confidential...
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How To Manage Employee Personal Trading Compliance
To strengthen the control over personal transactions and prevent insider trading, the European Securities and Market Authority (ESMA) has mandated...
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The 6 Key Steps To Faster And Simpler Employee Trade Monitoring
After understandable volatility in the world’s capital markets last March, the recovery took hold throughout the second half of 2020 and into 2021,...
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How To Level Up Your Employee Trading Pre-Clearance Process
There are many occasions when investment companies and their employees will be in possession of inside information. The Market Abuse Regulation (MAR)...
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